Compliance Group Lead
2 days ago
Key Responsibilities:
As a Compliance Group Lead, you will be responsible for monitoring Investment guideline compliance to approve Orders/Trades pre-trade and review compliance alerts at a post-trade level. Key responsibilities include:
- Investigation and resolution of pre-trade and post-trade investment guideline exceptions
- Collaboration with portfolio management and other partners to ensure portfolio compliance
- Manual test execution to ensure system integrity
- Identification and resolution of investment guideline coding issues
- Investigation and troubleshooting of potential errors
- Contribution to efficiency and improvement initiatives through process suggestions and ideas
Required Qualifications:
To be successful in this role, you will need:
- A graduate degree from a tier 1 university with a minimum of 8 years of experience
- In-depth understanding of regulatory frameworks, including the Investment Company Act of 1940, Investment Advisor's Act, U.K., and European regulations
- Strong knowledge of financial markets, investment vehicles, and asset classes
About Our Company:
Ameriprise India LLP is a leading financial planning company that has been providing client-based financial solutions for over 125 years. We are headquartered in Minneapolis and have a global presence, with a focus on Asset Management and Advice, Retirement Planning, and Insurance Protection. We offer a collaborative and inclusive culture that values diversity and promotes career growth.
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Compliance Group Lead
2 weeks ago
Noida, Uttar Pradesh, India Ameriprise Financial Full timeThe Compliance Group Lead will be responsible for monitoring investment guidelines to approve orders/trades pre-trade and reviewing compliance alerts at a post-trade level. Key responsibilities include investigating and resolving pre-trade and post-trade investment guideline exceptions, working closely with portfolio management and other partners to ensure...
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Compliance Group Lead
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Noida, Uttar Pradesh, India Ameriprise Financial Full timeInvestment Guideline Monitoring and Compliance **Job Summary** We are seeking a highly skilled Compliance Group Lead to join our team at Ameriprise India LLP. As a key member of our compliance team, you will be responsible for monitoring investment guidelines and ensuring compliance with regulatory requirements. **Key Responsibilities** • Investigate...
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Compliance Group Lead
2 weeks ago
Noida, Uttar Pradesh, India Ameriprise Financial Full timeJob SummaryThe Compliance Group Lead will be responsible for monitoring investment guidelines to approve orders/trades pre-trade and reviewing compliance alerts at a post-trade level. This role requires a strong understanding of financial markets, investment vehicles, and asset classes.Key ResponsibilitiesInvestigation and resolution of pre-trade and...
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Noida, Uttar Pradesh, India Ameriprise Financial Full timeJob SummaryThe Compliance Group Lead will be responsible for monitoring investment guidelines to approve orders/trades pre-trade and reviewing compliance alerts at a post-trade level. This role requires a strong understanding of financial markets, investment vehicles, and asset classes.Key ResponsibilitiesInvestigation and resolution of investment guideline...
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